0001209191-18-058344.txt : 20181113
0001209191-18-058344.hdr.sgml : 20181113
20181113173329
ACCESSION NUMBER: 0001209191-18-058344
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181112
FILED AS OF DATE: 20181113
DATE AS OF CHANGE: 20181113
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RASTETTER WILLIAM H
CENTRAL INDEX KEY: 0001205903
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35670
FILM NUMBER: 181179374
MAIL ADDRESS:
STREET 1: 9885 TOWNE CENTRE DR.
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Regulus Therapeutics Inc.
CENTRAL INDEX KEY: 0001505512
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 264738379
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 10614 SCIENCE CENTER DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: 858-202-6300
MAIL ADDRESS:
STREET 1: 10614 SCIENCE CENTER DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-11-12
0
0001505512
Regulus Therapeutics Inc.
RGLS
0001205903
RASTETTER WILLIAM H
C/O REGULUS THERAPEUTICS INC.
10614 SCIENCE CENTER DRIVE
SAN DIEGO
CA
92121
1
0
0
0
Common Stock
2018-11-12
4
A
0
23258
A
79672
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trust
Stock Option (Right to Buy)
92.04
2018-11-12
4
D
0
2500
D
2023-03-31
Common Stock
2500
0
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trus
Stock Option (Right to Buy)
111.84
2018-11-12
4
D
0
1458
D
2023-06-09
Common Stock
1458
0
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trus
Stock Option (Right to Buy)
74.64
2018-11-12
4
D
0
1458
D
2024-05-21
Common Stock
1458
0
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trus
Stock Option (Right to Buy)
120.24
2018-11-12
4
D
0
1458
D
2025-06-08
Common Stock
1458
0
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trus
Stock Option (Right to Buy)
74.40
2018-11-12
4
D
0
3051
D
2026-05-31
Common Stock
3051
0
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trus
Stock Option (Right to Buy)
17.40
2018-11-12
4
D
0
2500
D
2027-05-30
Common Stock
2500
0
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trus
Stock Option (Right to Buy)
8.52
2018-11-12
4
D
0
6250
D
2028-05-16
Common Stock
6250
0
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trus
Stock Option (Right to Buy)
8.76
2018-11-12
4
D
0
4583
D
2028-05-31
Common Stock
4583
0
I
William H. Rastetter TTEE, Marisa Rastetter TTEE 9-2-2010 FBO Rastetter Family Trus
On November 12, 2018, the issuer canceled, pursuant to the issuer's option exchange program, the options listed below in Table II. In exchange for the options cancelled, the reporting person received Restricted Stock Units (RSUs) as reported in this Table I. The RSUs vest ratably on a quarterly basis, such that the the RSUs are fully vested one year after the date of grant, subject to the reporting person's continuous service to Regulus through each vesting date.
Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018.
The shares subject to the cancelled option were fully vested.
On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I.
The cancelled option provided for vesting in 12 equal monthly installments commencing on the date of grant.
The cancelled option vested in twelve equally monthly installments, such that the option would have been fully vested one year from the date of grant, or the date of the Company's next annual shareholder meeting, whichever occured first.
Christopher Aker, Attorney in Fact
2018-11-13